Notice 4 Feb 2025 sec, trading, regulations, nasdaq, etf, cryptocurrency, litecoin

🪙SEC Notice on Listing of Canary Litecoin ETF Shares

This document outlines the SEC's notice regarding the proposed rule change to list and trade shares of the Canary Litecoin ETF by The Nasdaq Stock Market LLC. It specifies regulatory compliance measures, the Trust's operational framework, and the surveillance mechanisms to monitor trading activities, ensuring transparency and fraud prevention.

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Notice 4 Feb 2025 compliance, sec, regulation, securities, municipal securities, disclosures

📄Insights on Municipal Securities Disclosure Compliance Requirements

The Securities and Exchange Commission announces a request for an extension on compliance measures under Rule 15c2-12, which governs municipal securities disclosures. The rule mandates Participating Underwriters obtain and review official statements and ensures issuers provide ongoing financial information. These measures aim to enhance market transparency and reduce fraud in municipal securities transactions.

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Notice 3 Feb 2025 market data, compliance, sec, regulation, finance, securities, nyse

📈SEC Notice on NYSE Arca's Market Data Fee Change

The Securities and Exchange Commission (SEC) has published a notice regarding NYSE Arca's proposed rule change to expand the Per User Access Fee for the NYSE Aggregated Lite data feed. This change is set to take effect soon, following a solicitation for public comments on the proposal to enhance compliance and operational protocols among market participants.

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Notice 3 Feb 2025 sec, regulation, securities, investment, business development, blackrock

📈SEC Notice on BlackRock Application for Joint Investment Transactions

The Securities and Exchange Commission issued a notice regarding BlackRock's application for an order allowing business development companies and investment firms to co-invest in portfolio companies. This application seeks to facilitate joint transactions that are typically prohibited, potentially influencing investment strategies and compliance requirements for involved entities.

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Regulatory Compliance, Financial Opportunities 31 Jan 2025 sec, regulatory compliance, investment company act, co-investment, business development companies
Regulatory Requirements, Financial Markets 31 Jan 2025 compliance, sec, nasdaq, trading regulations, flex options
Regulation, Compliance 31 Jan 2025 compliance, sec, risk management, options clearing corporation, financial regulation, securities exchange commission
Compliance, Financial Regulations 30 Jan 2025 sec, regulatory compliance, financial services, nyse american, options regulatory fee
Compliance, Regulatory Requirements 30 Jan 2025 compliance, sec, regulation, securities, financial reporting, electronic filing, reporting and recordkeeping requirements, incorporation by reference, edgar

📈SEC Updates EDGAR Filer Manual

The Securities and Exchange Commission ("Commission") is adopting amendments to Volume II of the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual ("EDGAR Filer Manual" or "Filer Manual") and related rules and forms. EDGAR Release 24.4 will be deployed in the EDGAR system on December 16, 2024.

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Compliance, Regulatory Requirements 30 Jan 2025 compliance, sec, regulatory requirements, investment advisers, ethical conduct